SFC corporate matters

Q1 : How do I access SFC publications (eg, corporate reports, codes and guidelines)?

Please click on the following links to access SFC publications:

Should you wish to receive updates on our periodic reports and publications, you may sign up for our subscription service.

¹These include corporate and industry-related publications such as annual and quarterly reports, research papers, market reviews, survey and statistics, etc.

Q2 : How do I keep updated of SFC activities (eg, news releases, new publications, etc)?

You may sign up for our subscription service to obtain the latest information on SFC news and developments. To subscribe, please put a “tick” (✓) against the publications or items of your choice.

Q3 : How do I unsubscribe from the SFC’s subscription service?

If you wish to unsubscribe, you may click the “Change/unsubscribe” link attached at the bottom of every email you receive from us.

Q4 : Where do I look for current job openings at SFC? Can non-Hong Kong citizens or non-permanent residents apply?

To learn more about our current job opportunities, please visit the “Career” section on the SFC website.

Subject to availability, we will sponsor work visas for successful applicants who are non-Hong Kong residents.

Q5 : Can I purchase printed copies of SFC codes and guidelines?

We no longer print physical copies of SFC codes and guidelines for sale. Please visit the Codes and guidelines section on our website to access the electronic versions of our codes and guidelines.

Q6 : What are the opening hours of the SFC office?

Our office on 54th Floor, One Island East, 18 Westlands Road, Quarry Bay, Hong Kong is open from 9:00 am to 6:00 pm from Monday to Thursday, and from 9:00 am to 5:15 pm on Friday. While our office is not open on Saturdays, drop boxes are in place at 38^th Floor for delivery of documents and mails.

For more details about how to get in touch, please click here.

Q7 : Can visitors access the SFC office on Saturdays?

Our office is closed on Saturdays and does not receive visitors except in emergency situations.

Q8 : Can I deliver documents or packages to the SFC by hand on Saturdays?

You can use the drop box located on the 38^th floor of the One Island East for documents or packages delivered to the SFC on Saturday.

Q9 : What are the other means of obtaining SFC information when the SFC office is closed?

The SFC site (www.sfc.hk) provides useful information. In addition, you can find out about licensing, intermediary supervision and product authorization by calling us on 2231 1222 (option 1 after language selection), ask for faxed copies of licensing application and notification forms as well as annual returns, and record your enquiries in the voicemail system.

Q10 : Under various provisions of the Securities and Futures Ordinance (SFO), certain persons are required to notify the SFC within a specified number of “business days” if certain events occur. Does Saturdays count as a “business day”?

With effect from 4 May 2012, the term "business day" as defined in Schedule 1 to the SFO excludes Saturdays.

Q11 : Are there other channels for the public to obtain useful information?

The public may:

find out whether a corporation / person is licensed by the SFC by checking the Public Register of Licensed Persons and Registered Institutions posted on the SFC site;
check whether an investment product is SFC-authorized from the List of Investment Products on the SFC site;
obtain educational materials about product features and risks, investor rights and responsibilities on the Investor and Financial Education Council;
look for information on exchange-traded products, disclosure of interests and corporate disclosure on the HKExnews site (www.hkexnews.hk) of Hong Kong Exchanges and Clearing Ltd; and
check with the responsible share registrars regarding initial public offerings, eg, despatch of share certificates and refund cheques.

Last update: 4 Oct 2023